audit firms and auditors in order for them to alleviate their deficiencies successfully in the future. By performing root cause analysis, the SEC found that some audit firms were unable to alleviate their
the Thai capital market are (1) promotion of good corporate governance, which at present, has received high acceptance and put into practice among both public and private sectors, (2) reduction of
grow. The International Climate Bonds Standards and Certification Scheme assures investors that their funds are being used to help deliver a low- carbon economy. It allows investors and governments to
securities business licensees from including in their names the words ?securities company limited.? The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to
Securities and Exchange Act of 1992. Their actions therefore were in violation of Section 90 and liable to penalties under Section 289, which are imprisonment for a term of 2 to 5 years and a fine from 200,000
(IA) business undertakings. In this regard, Thai business operators have to inform the SEC of the names of such foreign personnel in advance and determine the term for their provision of advisory
. contact person; f. arranger of the offer; and g. other parties who are responsible for disclosure of information contained in the registration statement (if any). C. Auditors Provide the names, addresses
. Applicable Law Identify the law applicable to the debt securities being publicly offered and/or listed. III. RISK FACTORS 1. The registration statement shall prominently disclose risk factors that are specific
the financial statements provided in the registration statement are prepared in a currency other than Thai Baht, the issuer is required to disclose the exchange rate between the financial reporting
to thank all parties for their contributions throughout the year to ensure that the Thai capital market will remain the long-standing pillar of our sustainable economy. 4 Message from the Secretary